Common use of Principal Transactions Clause in Contracts

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Person; and the Trust may employ any such Affiliated Person or other Person, or firm or company in which such Affiliated Person or other Person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 104 contracts

Samples: Agreement (American Funds College Target Date Series), Agreement and Declaration of Trust (American Funds Retirement Income Portfolio Series), Agreement and Declaration of Trust (American Funds Tax Exempt Series Ii / Ca)

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Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 37 contracts

Samples: Agreement and Declaration of Trust (Blackstone / GSO Secured Lending Fund), Agreement and Declaration of Trust (Blackstone / GSO Floating Rate High Income Fund), Agreement and Declaration of Trust (Onex Falcon Direct Lending BDC Fund)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 28 contracts

Samples: Tailwind Endowment Alternatives Fund Agreement (Tailwind Endowment Alternatives Fund), Hatteras 1099 Advantage (Hatteras 1099 Advantage Institutional Fund), Agreement and Declaration of Trust (Cascade Private Capital Fund)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, administrator, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, administrator, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 11 contracts

Samples: Declaration of Trust (Aristotle Funds Series Trust), Agreement And (Carlyle Select Trust), Agreement and Declaration (Lord Abbett Trust I)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person affiliated person of the Trust, investment adviserany Investment Manager, investment sub-adviser, distributor Principal Underwriter or transfer agent for of the Trust or with any Interested Person of such Affiliated Person affiliated person or other Personperson; and the Trust may employ any such Affiliated Person affiliated person or other Personperson, or firm or company in which such Affiliated Person affiliated person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviserInvestment Manager, investment sub-adviser, distributorPrincipal Underwriter, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 10 contracts

Samples: Agreement and Declaration (FundVantage Trust), Agreement and Declaration (Manager Directed Portfolios), Agreement and Declaration (Manager Directed Portfolios)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment invest­ment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Person; and the Trust may employ any such Affiliated Person or other Person, or firm or company in which such Affiliated Person or other Person is an Interested Person, as broker, legal counsel, registrar, investment invest­ment adviser, investment invest­ment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 10 contracts

Samples: Agreement (Limited Term Tax Exempt Bond Fund of America), Agreement and Declaration (Washington Mutual Investors Fund), Agreement And (Capital Private Client Services Funds)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, to or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 4 contracts

Samples: Agreement and Declaration (Sixth Street Lending Partners), Agreement and Declaration (Diameter Credit Co), Agreement and Declaration (Middle Market Apollo Institutional Private Lending)

Principal Transactions. Except to the extent prohibited by applicable lawlaw and the Omnibus Guidelines, the Trustees may, on behalf of the TrustCompany, buy any securities from or sell any securities to, or lend any assets of the Trust Company to, any Trustee or officer of the Trust Company or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person Affiliate of the TrustCompany, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust Company or with any Interested Person of such Affiliated Person Affiliate or other Personperson; and the Trust Company may employ any such Affiliated Person Affiliate or other Personperson, or firm or company in which such Affiliated Person Affiliate or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 3 contracts

Samples: Agreement and Declaration of Trust (AG Twin Brook Capital Income Fund), Agreement and Declaration of Trust (AG Twin Brook Capital Income Fund), Bain Capital Private Credit

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviseradvisor, investment sub-adviseradvisor, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 3 contracts

Samples: Agreement and Declaration (Kennedy Lewis Capital Co), Agreement and Declaration (Kennedy Lewis Capital Co), Agreement and Declaration (Kennedy Lewis Capital Co)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment invest­ment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviserinvest­ment advisor, investment invest­ment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 2 contracts

Samples: Agreement and Declaration of Trust (HCIM Trust), Agreement and Declaration of Trust (YCG Funds)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment invest­ment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment invest­ment adviser, investment invest­ment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 2 contracts

Samples: Agreement and Declaration (Hatteras Ramius 1099 Fund), Hatteras Ramius 1099 Institutional Fund

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Person; person, and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 2 contracts

Samples: Agreement and Declaration of Trust (Avenue Income Credit Strategies Fund), Avenue Mutual Funds Trust (Avenue Mutual Funds Trust)

Principal Transactions. Except to the extent prohibited by applicable lawlaws and regulations, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 2 contracts

Samples: Agreement and Declaration of Trust (Principal Diversified Select Real Asset Fund), Agreement and Declaration of Trust (Principal Exchange-Traded Funds)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor distributor, administrator or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian custodian, administrator or in any other capacity upon customary terms.

Appears in 2 contracts

Samples: Agreement and Declaration of Trust (ASGI Agility Income Fund), Agreement and Declaration of Trust (Agility Multi-Asset Income Fund)

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Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: New Alternatives Fund (New Alternatives Fund Inc)

Principal Transactions. Except to the extent prohibited by ---------------------- applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Provident Institutional Funds Agreement (Temporary Investment Fund Inc)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Investment Services for Education Associations Trust

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment invest-ment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Person; and the Trust may employ any such Affiliated Person or other Person, or firm or company in which such Affiliated Person or other Person is an Interested Person, as broker, legal counsel, registrar, investment invest-ment adviser, investment invest-ment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: First Amended Agreement (Davis Fundamental ETF Trust)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment invest­ment adviser, investment invest­ment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Agreement and Declaration of Trust (FSI Low Beta Absolute Return Fund, TEI)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the Trust, buy any securities from or sell any securities to, or lend any assets of the Trust to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person affiliated person of the Trust, investment adviserany Invesment Manager, investment sub-adviser, distributor Principal Underwriter or transfer agent for of the Trust or with any Interested Person of such Affiliated Person affiliated person or other Personperson; and the Trust may employ any such Affiliated Person affiliated person or other Personperson, or firm or company in which such Affiliated Person affiliated person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviserInvestment Manager, investment sub-adviser, distributorPrincipal Underwriter, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Agreement and Declaration (Roxbury Funds)

Principal Transactions. Except to the extent prohibited by applicable lawlaw and the Omnibus Guidelines, the Trustees may, on behalf of the TrustCompany, buy any securities from or sell any securities to, or lend any assets of the Trust to, Company to any Trustee or officer of the Trust Company or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person Affiliate of the TrustCompany, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust Company or with any Interested Person of such Affiliated Person Affiliate or other Personperson; and the Trust Company may employ any such Affiliated Person Affiliate or other Personperson, or firm or company in which such Affiliated Person Affiliate or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviseradvisor, investment sub-adviseradvisor, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Agreement and Declaration (PGIM Private Credit Fund)

Principal Transactions. Except to the extent prohibited by applicable law, the Trustees may, on behalf of the TrustTrust or any Series, buy any securities from or sell any securities to, or lend any assets of the Trust or any Series to, any Trustee or officer of the Trust or any firm of which any such Trustee or officer is a member acting as principal, or have any such dealings with any Affiliated Person of the Trust, investment adviser, investment sub-adviser, distributor or transfer agent for the Trust or with any Interested Person of such Affiliated Person or other Personperson; and the Trust or any Series may employ any such Affiliated Person or other Personperson, or firm or company in which such Affiliated Person or other Person person is an Interested Person, as broker, legal counsel, registrar, investment adviser, investment sub-adviser, distributor, transfer agent, dividend disbursing agent, custodian or in any other capacity upon customary terms.

Appears in 1 contract

Samples: Agreement and Declaration (Evanston Alternative Opportunities Fund)

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